
Free US Law Dictionary
BETA
Securities
Securities
Bond
Equities
Investment Fund
Derivatives
Structured finance
Agency Securities
Markets
Bond market
Stock market
Futures market
Foreign exchange market
Commodity market
Spot market
Over-the-counter Market (OTC)
Bonds by coupon
Fixed rate bond
Floating rate note
Zero coupon bond
Inflation-indexed bond
Commercial paper
Perpetual bond
Bonds by issuer
Corporate bond
Government bond
Municipal bond
Sovereign bonds
Equities (Stocks)
Stock
Share
IPO
Short Selling
Investment Funds
Mutual fund
Index Fund
Exchange-traded fund (ETF)
Closed-end fund
Segregated fund
Hedge fund
Structured Finance
Securitization
Asset-backed security
Collateralized debt obligation
Collateralized mortgage obligation
Credit-linked note
Mortgage-backed security
Commercial mortgage-backed security
Residential mortgage-backed security
Unsecured bond
Agency Securities
Derivatives
Options
Warrants
Futures
Forwards
Swaps
Credit Derivatives
Hybrid Securities
A security is a fungible, negotiable instrument representing financial value. Securities are broadly categorized into debt securities, such as banknotes, bonds and debentures, and equity securities, e.g. common stocks. The company or other entity issuing the security is called the issuer. What specifically qualifies as a security is dependent on the regulatory structure in a country. For example private investment pools may have some features of securities, but they may not be registered or regulated as such if they meet various restrictions.
Securities may be represented by a certificate or, more typically, by an electronic book entry. Certificates may be bearer, meaning they entitle the holder to rights under the security merely by holding the security, or registered, meaning they entitle the holder to rights only if he or she appears on a security register maintained by the issuer or an intermediary. They include shares of corporate stock or mutual funds, bonds issued by corporations or governmental agencies, stock options or other options, limited partnership units, and various other formal investment instruments that are negotiable and fungible.
SEC Charges Five Former San Diego Officials With Securities Fraud For Inadequate Municipal Securities Disclosures
The SEC has filed securities fraud charges against five former San Diego city officials who played key roles in the city's inadequate municipal securities disclosures in 2002 and 2003...
Securities Regulator Issues Timely Guidance Regarding Cash Alternatives And High Yield Securities
Investors have searched for high yield securities as well as "cash equivalents" that will protect their principal. Financial services firms have responded, but in too many instances have mischaracterized the benefits and the risks of both kinds of investments...
Securities Regulator Cautions Investors To Avoid Funds Investing In Catastrophe Bonds Or Other Event-Linked Securities
The Financial Industry Regulatory Authority (FINRA) has issued an Investor Alert warning investors about the risks of speculating on natural disasters with event-linked securities, such as catastrophe bonds or "cat bonds...
Regulator's Complaint Against UBS Securities Exposes Significant Conflicts Of Interest And Omissions In The Sale Of Auction-Rate Securities
On June 26th, Massachusetts securities regulators sued UBS Securities and UBS Financial Services for their role in the auction-rate securities ("ARS") debacle that has plagued not only UBS but several other financial services firms...
New York Attorney General's Complaint Against UBS Securities Seeking Relief For Auction Rate Securities Purchasers Nationwide
Following on the heels of a similar complaint filed by Massachusetts securities regulators, New York Attorney General Cuomo?s complaint against UBS Securities and UBS Financial Services (?UBS? collectively) alleges that UBS deceived its customers, its own financial advisors and the...
Massachusetts Securities Regulator Sues Merrill Lynch Over Auction-Rate Securities As SNSFE Continues To Counsel Investors
The Massachusetts securities regulator has accused Merrill Lynch of defrauding auction-rate investors. According to Bloomberg: Massachusetts Secretary of State William Galvin accused Merrill Lynch & Co...
What are good online resources on Compliance Management?
I think Compliance Home, Compliance Directory, and recently I saw one more good ...
Where can I read more about the latest Compliance Alert issued by the U.S. Securities and Exchange Commission?
You can read more on SEC website http://sec.gov/about/offices/ocie/complialert07...

What are good online resources on Compliance Management?
I think Compliance Home, Compliance Directory, and recently I saw one more good ...
Where can I read more about the latest Compliance Alert issued by the U.S. Securities and Exchange Commission?
You can read more on SEC website http://sec.gov/about/offices/ocie/complialert07...















